Areas of Focus

| Areas of Focus

We develop Compliance Solutions strategies around three focal points: Internal Governance and Organizational Compliance, Regulatory and Administrative Compliance, and Process Auditing for Sustainable Compliance.

» Internal Governance and Organizational Compliance

Our team has developed inclusive plans that define the way an organization operates, and we do this by preparing policies and procedures that characterize internal and external relationships, that establish behavior and conduct expectations, and that promote, reward, and facilitate accountability and transparency. For some organizations, these kinds of policies may be necessary to engage in a particular activity or obtain a particular benefit. For others, these kinds of policies are the result of an internal assessment or the response to an existing challenge. For many organizations, though, these kinds of policies are simply part of a larger compliance effort.

We believe the mere presence of these kinds of policies is sufficient to permeate institutional culture so as to influence organizational behavior. However, we also believe that these kinds of policies are merely the fundamental starting point for achieving a transparent, accountable organization that serves the interests of every stakeholder.

» Regulatory and Administrative Compliance

Our team partners with boards of directors, officers, and managers in order to intimately understand the legal environment that affects a particular operation or an entire organization. Through this collaboration, we can identify those statutory and regulatory expectations that are required, while distinguishing those that are preferred, and because our team has worked with federal, state, and local administrative agencies and government officials, we understand how to develop a plan that satisfies both written and unwritten expectations. Using a targeted, collaborative approach, we are able to provide clients with a complete operational guide to regulatory and administrative compliance.

» Process Auditing for Sustainable Compliance

Our professionals perform systematic audits, reviews, and testing necessary to building a sustainable compliance strategy. Using a methodical top-down, categorical approach, we are able to evaluate the quality and sufficiency of a client’s operational policies and procedures. This approach allows us to determine whether a client is satisfying minimum standards and expectations, whether a client is executing efficiently and appropriately, and whether a client is adapting and forecasting accordingly. Meant to guide institutions and to manage contingencies, our process and compliance audits are equally practical as they are strategic.

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